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Information

Firm:
Additional Firm:
Goldis Financial Group, Inc.
Shareholder, Crop, Srop, Finop
Type: Registered Representative
Description

Steven Goldis is a financial professional at H. Beck, Inc., a broker-dealer with 818 registered representatives nationwide. Steven has held an industry securities registration for 28 years and is subject to FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Steven Bruce Goldis has not answered any questions on Financial Q&A.

Top Guides

Steven Bruce Goldis has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
H. Beck, Inc. 11 years Apr 2003 - Present
Goldis Asset Management, Inc. 17 years, 6 months Oct 1996 - Present
Goldis Asset Management, Inc. 13 years, 2 months Oct 1996 - Dec 2009
G & G Agency of America, Ltd 15 years, 2 months Feb 1988 - Apr 2003
Goldis Agency, Ltd. 15 years, 10 months Jun 1987 - Apr 2003
Goldis Financial Group, Inc. 18 years, 1 month Mar 1985 - Apr 2003
G & G Agency Ltd 31 years, 4 months Dec 1982 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 01/30/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Not registered
Registered
Disclosures

No Disclosures Found

2 Regulatory Events

As of Date
01/30/2012
10/09/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 10/15/2003
Registered Options Principal Examination Series 4 04/11/1988
Municipal Securities Principal Examination Series 53 06/04/1987
Financial and Operations Principal Examination Series 27 09/24/1986
General Securities Principal Examination Series 24 01/08/1986
Uniform Securities Agent State Law Examination Series 63 09/06/1984
General Securities Representative Examination Series 7 08/18/1984

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions